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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
General Module (GEN) [VER46/01-20]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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GEN 5.3.19

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The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

(1) An Authorised FirmG must ensure, as far as reasonably practical, that its EmployeesG are:
(a) fit and proper;
(b) competent and capable of performing the functions which are to be assigned to those EmployeesG ; and
(c) trained in the requirements of the legislation applicable in the DIFCG .
(2) An Authorised FirmG must establish and maintain systems and controls to comply with (1). An Authorised FirmG must be able to demonstrate that it has complied with these requirements through appropriate measures, including the maintenance of relevant records.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] [VER10/06-06]
[Amended] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]